New York regulations

9 NYCRR 5113.3

Executive Department

Browse New York regulations by title, part, and section.

Initiation of disciplinary proceedings

Initiation of disciplinary proceedings

Compiled text through Nov 15, 2021

Register checked through Jul 29, 2026

No later Register activity identified in this check.

Dates and status
Compiling agency
Executive Department
Text status
Source receipt
Compiled text through
Nov 15, 2021
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status
No later Register activity identified in this check.
Source snapshot
Jun 6, 2026
(a)Except as otherwise provided by the act or these regulations, at any time during the review and investigation of a complaint or alleged violation of the act or these regulations, the commission may initiate disciplinary proceedings:
(1)to suspend or revoke any license or certificate issued pursuant to the act; or
(2)to otherwise sanction the agent or licensee for violations of the act or these regulations.
(b)Disciplinary proceedings commenced by the commission shall be initiated by sending a notice by first class mail to the last known mailing address of the licensee. Such notice, without limitation, shall set forth a list of the grounds for the proposed disciplinary action; the time and place for a hearing before the commission concerning the proposed disciplinary action; and a statement of the disciplinary action sought to be imposed against such licensee. Such notice shall be mailed to the licensee not less than 30 days prior to the scheduled hearing date.

State Register activity

No Register activity identified in this check.Register checked through July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29).

LawEngine organizes New York regulations for fast review. Use independent legal judgment before filing.